Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Bowden Simmermon | 5283860 | 1 | 11/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Louis Grano | 2937422 | 3 | 11/17/2023 | Customer Dispute | Pending | $370,000.00 | $0.00 | See FINRA Report |
| Kevin Clinton Loyd | 4447419 | 4 | 11/16/2023 | Customer Dispute | Pending | $17,500.00 | $0.00 | See FINRA Report |
| Joseph Michael Pitch | 1410880 | 1 | 11/15/2023 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Anthony George Makransky | 2103362 | 3 | 10/23/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| William Demopolis | 6624936 | 3 | 10/15/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward Terral Hill | 6008804 | 3 | 10/10/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward Terral Hill | 6008804 | 3 | 10/02/2023 | Customer Dispute | Pending | $20,805.20 | $0.00 | See FINRA Report |
| David Edward Spence | 3005783 | 1 | 09/18/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Linda Clair Mills | 845952 | 6 | 08/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |